United States onlyThe Licensing Associate at Mariner plays a key role in supporting the firm’s advisors and affiliates by ensuring accurate, timely, and compliant securities registrations and investment advisor licensing. This position is ideal for a detail-oriented professional who thrives in a fast-paced, business-focused environment and is passionate about delivering exceptional service to advisors through accountability and operational excellence.
Responsibilities
- Lead registered individuals through the onboarding process, including FINRA CRD pre-registration profiles, compliance questionnaires, and coordination of advisor exams, registrations, and required filings (U4/U5 and amendments).
- Maintain accurate and up-to-date licensing, registration, and associated person records across internal and external systems, ensuring consistency with regulatory requirements and internal due diligence standards.
- Review and analyze outside business activity requests, disclosures, business cards, letterhead, and IAR ADV 2B documents to identify potential conflicts and support regulatory compliance.
- Support Regulatory Element, state IAR continuing education requirements, and annual registration renewals to ensure licenses and registrations remain active and in good standing.
- Process branch registrations, changes, and terminations; assist with regulatory inquiries, examinations, and data requests; and coordinate the collection and preparation of required disclosure documentation.
- Assist in developing and updating procedures, checklists, and automated workflows to enhance efficiency, manage assigned special projects and escalations, and stay current on regulatory initiatives that may impact policies or procedures.
Qualifications
- 2 plus years of licensing experience in a financial services company
- Series 65 preferred
Skills
- Demonstrated understanding of FINRA, SEC, and state regulatory requirements related to licensing and registrations.
- Highly organized with strong attention to accuracy and the ability to manage multiple priorities simultaneously.
- Professional written and verbal communication skills with a collaborative, team-oriented approach.
- Strong analytical thinking and creative problem-solving abilities in a fast-paced, multi-dimensional environment.
Our compensation reflects the cost of talent across multiple US geographic markets. The base pay for this position across all US geographic markets ranges from $50,000.00/year to $80,000.00/year. Pay is based on a number of factors including geographic location and may vary depending on job-related knowledge, skills, and experience. Eligibility to participate in an incentive program is subject to the rules governing the program, whereby an award, if any, depends on various factors including, without limitation, individual and organizational performance. Roles may also be eligible for additional compensation and/or benefits.
We welcome your interest in being a part of the Mariner Wealth Advisors team. We offer our associates an innovative and challenging place to work with camaraderie and teamwork. We are a growth-oriented, entrepreneurial culture that respects people and values talent, experience and ambition.
